UBS AG historic quarter change: Foreign Options, Added
In put and call options, at their filed underlying value (depositary receipts and foreign shares traded over the counter), over 5 quarters from 2013-06-30 to 2014-09-30, UBS AG opened 239 positions, added to 508, reduced 579 and sold out of 237.
- Q3 2013: Stock BIDU; Country of operation —; Class SPON ADR REP A · Call; Shares before 83,600.
- Q3 2013: Stock BIDU; Country of operation —; Class SPON ADR REP A · Put; Shares before 94,100.
- Q3 2013: Stock RIO; Country of operation —; Class SPONSORED ADR · Call; Shares before 19,850.
- Q3 2013: Stock TSM; Country of operation —; Class SPONSORED ADR · Put; Shares before 5,000.
Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1114446), 5 quarters: Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-11-12); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-08-14); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-05-16); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-05-21); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-11-13). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move. Only the filings held here are compared; the firm's 13F-HR filings go back to the quarter ended 2002-12-31.
| Quarter | Stock | Country of operation | Class | Shares before | Shares after | Share change | Value before | Value after | Value change | Filed |
|---|---|---|---|---|---|---|---|---|---|---|
| Q3 2013 | BIDU BAIDU INC | SPON ADR REP A · Call | 83,600 | 241,822 | +158,222 | $7,909,000 | $37,526,000 | +$29,617,000 | 2013-11-13 | |
| Q3 2013 | BIDU BAIDU INC | SPON ADR REP A · Put | 94,100 | 247,500 | +153,400 | $8,902,000 | $38,407,000 | +$29,505,000 | 2013-11-13 | |
| Q3 2013 | RIO RIO TINTO PLC | SPONSORED ADR · Call | 19,850 | 201,909 | +182,059 | $815,000 | $9,845,000 | +$9,030,000 | 2013-11-13 | |
| Q3 2013 | TSM TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR · Put | 5,000 | 443,800 | +438,800 | $92,000 | $7,527,000 | +$7,435,000 | 2013-11-13 | |
| Q3 2013 | VODAFONE GROUP PLC NEW CUSIP 92857W209 | SPONS ADR NEW · Put | 167,900 | 317,400 | +149,500 | $4,826,000 | $11,166,000 | +$6,340,000 | 2013-11-13 | |
| Q3 2013 | QIHOO 360 TECHNOLOGY CO LTD CUSIP 74734M109 | ADS · Call | 13,200 | 72,800 | +59,600 | $609,000 | $6,057,000 | +$5,448,000 | 2013-11-13 | |
| Q3 2013 | CREDIT SUISSE GROUP CUSIP 225401108 | SPONSORED ADR · Call | 10,300 | 163,700 | +153,400 | $273,000 | $5,001,000 | +$4,728,000 | 2013-11-13 | |
| Q3 2013 | SAN BANCO SANTANDER SA | ADR · Put | 86,200 | 644,400 | +558,200 | $558,000 | $5,265,000 | +$4,707,000 | 2013-11-13 | |
| Q3 2013 | VALE VALE S A | ADR · Put | 505,200 | 713,300 | +208,100 | $6,643,000 | $11,135,000 | +$4,492,000 | 2013-11-13 | |
| Q3 2013 | YOUKU TUDOU INC CUSIP 98742U100 | SPONSORED ADR · Put | 98,100 | 178,500 | +80,400 | $1,883,000 | $4,891,000 | +$3,008,000 | 2013-11-13 | |
| Q3 2013 | SPREADTRUM COMMUNICATIONS IN CUSIP 849415203 | ADR · Call | 4,700 | 99,600 | +94,900 | $123,000 | $3,034,000 | +$2,911,000 | 2013-11-13 | |
| Q3 2013 | YOUKU TUDOU INC CUSIP 98742U100 | SPONSORED ADR · Call | 298,200 | 309,600 | +11,400 | $5,722,000 | $8,483,000 | +$2,761,000 | 2013-11-13 | |
| Q3 2013 | TEVA TEVA PHARMACEUTICAL INDS LTD | ADR · Call | 63,200 | 137,000 | +73,800 | $2,478,000 | $5,176,000 | +$2,698,000 | 2013-11-13 | |
| Q3 2013 | HIMX HIMAX TECHNOLOGIES INC | SPONSORED ADR · Call | 8,700 | 229,300 | +220,600 | $45,000 | $2,293,000 | +$2,248,000 | 2013-11-13 | |
| Q3 2013 | SNY SANOFI | SPONSORED ADR · Put | 1,900 | 41,000 | +39,100 | $98,000 | $2,076,000 | +$1,978,000 | 2013-11-13 | |
| Q3 2013 | SPREADTRUM COMMUNICATIONS IN CUSIP 849415203 | ADR · Put | 500 | 62,300 | +61,800 | $13,000 | $1,898,000 | +$1,885,000 | 2013-11-13 | |
| Q3 2013 | ASTRAZENECA PLC CUSIP 046353108 | SPONSORED ADR · Call | 23,300 | 53,500 | +30,200 | $1,102,000 | $2,779,000 | +$1,677,000 | 2013-11-13 | |
| Q3 2013 | MLCO MELCO CROWN ENTMT LTD | ADR · Call | 75,000 | 98,300 | +23,300 | $1,677,000 | $3,129,000 | +$1,452,000 | 2013-11-13 | |
| Q3 2013 | NQ MOBILE INC CUSIP 64118U108 | ADR REPSTG CL A · Call | 13,700 | 64,700 | +51,000 | $111,000 | $1,410,000 | +$1,299,000 | 2013-11-13 | |
| Q3 2013 | EMBJ EMBRAER S A | SP ADR REP 4 COM · Put | 16,600 | 58,600 | +42,000 | $612,000 | $1,903,000 | +$1,291,000 | 2013-11-13 | |
| Q3 2013 | ARM HLDGS PLC CUSIP 042068106 | SPONSORED ADR · Put | 2,800 | 27,000 | +24,200 | $101,000 | $1,299,000 | +$1,198,000 | 2013-11-13 | |
| Q3 2013 | ASTRAZENECA PLC CUSIP 046353108 | SPONSORED ADR · Put | 72,700 | 87,000 | +14,300 | $3,439,000 | $4,518,000 | +$1,079,000 | 2013-11-13 | |
| Q3 2013 | YPF YPF SOCIEDAD ANONIMA | SPON ADR CL D · Call | 2,000 | 48,200 | +46,200 | $30,000 | $970,000 | +$940,000 | 2013-11-13 | |
| Q3 2013 | CX CEMEX SAB DE CV | SPON ADR NEW · Call | 31,876 | 108,136 | +76,260 | $337,000 | $1,209,000 | +$872,000 | 2013-11-13 | |
| Q3 2013 | NVS NOVARTIS A G | SPONSORED ADR · Put | 38,800 | 46,400 | +7,600 | $2,744,000 | $3,559,000 | +$815,000 | 2013-11-13 | |
| Q3 2013 | QIHOO 360 TECHNOLOGY CO LTD CUSIP 74734M109 | ADS · Put | 2,800 | 10,500 | +7,700 | $129,000 | $874,000 | +$745,000 | 2013-11-13 | |
| Q3 2013 | CREDIT SUISSE GROUP CUSIP 225401108 | SPONSORED ADR · Put | 84,000 | 92,700 | +8,700 | $2,223,000 | $2,832,000 | +$609,000 | 2013-11-13 | |
| Q3 2013 | RIO RIO TINTO PLC | SPONSORED ADR · Put | 66,200 | 67,700 | +1,500 | $2,720,000 | $3,301,000 | +$581,000 | 2013-11-13 | |
| Q3 2013 | ALCATEL-LUCENT CUSIP 013904305 | SPONSORED ADR · Call | 123,700 | 228,100 | +104,400 | $225,000 | $805,000 | +$580,000 | 2013-11-13 | |
| Q3 2013 | NVO NOVO-NORDISK A S | ADR · Put | 800 | 4,100 | +3,300 | $124,000 | $694,000 | +$570,000 | 2013-11-13 | |
| Q3 2013 | SAN BANCO SANTANDER SA | ADR · Call | 59,100 | 110,300 | +51,200 | $382,000 | $901,000 | +$519,000 | 2013-11-13 | |
| Q3 2013 | E-COMMERCE CHINA DANGDANG IN CUSIP 26833A105 | SPN ADS COM A · Call | 45,500 | 73,800 | +28,300 | $316,000 | $773,000 | +$457,000 | 2013-11-13 | |
| Q3 2013 | TS TENARIS S A | SPONSORED ADR · Call | 1,000 | 10,200 | +9,200 | $40,000 | $477,000 | +$437,000 | 2013-11-13 | |
| Q3 2013 | TELFY TELEFONICA S A | Spain | SPONSORED ADR · Put | 16,000 | 40,100 | +24,100 | $205,000 | $621,000 | +$416,000 | 2013-11-13 |
| Q3 2013 | ROYAL BK SCOTLAND GROUP PLC CUSIP 780097689 | SPONS ADR 20 ORD · Call | 3,500 | 36,100 | +32,600 | $29,000 | $418,000 | +$389,000 | 2013-11-13 | |
| Q3 2013 | IBN ICICI BK LTD | ADR · Call | 1,100 | 13,660 | +12,560 | $42,000 | $416,000 | +$374,000 | 2013-11-13 | |
| Q3 2013 | HIMX HIMAX TECHNOLOGIES INC | SPONSORED ADR · Put | 600 | 35,900 | +35,300 | $3,000 | $359,000 | +$356,000 | 2013-11-13 | |
| Q3 2013 | SIEGY SIEMENS A G | SPONSORED ADR · Put | 5,900 | 7,700 | +1,800 | $598,000 | $928,000 | +$330,000 | 2013-11-13 | |
| Q3 2013 | NTES NETEASE INC | SPONSORED ADR · Put | 19,900 | 21,600 | +1,700 | $1,257,000 | $1,568,000 | +$311,000 | 2013-11-13 | |
| Q3 2013 | MECHEL OAO CUSIP 583840103 | SPONSORED ADR · Put | 70,600 | 158,200 | +87,600 | $203,000 | $508,000 | +$305,000 | 2013-11-13 | |
| Q3 2013 | SBS COMPANHIA DE SANEAMENTO BASI | SPONSORED ADR · Call | 7,800 | 37,800 | +30,000 | $81,000 | $376,000 | +$295,000 | 2013-11-13 | |
| Q3 2013 | JKS JINKOSOLAR HLDG CO LTD | SPONSORED ADR · Call | 1,000 | 13,100 | +12,100 | $9,000 | $295,000 | +$286,000 | 2013-11-13 | |
| Q3 2013 | NVS NOVARTIS A G | SPONSORED ADR · Call | 22,600 | 24,500 | +1,900 | $1,598,000 | $1,879,000 | +$281,000 | 2013-11-13 | |
| Q3 2013 | NVO NOVO-NORDISK A S | ADR · Call | 3,100 | 4,400 | +1,300 | $480,000 | $745,000 | +$265,000 | 2013-11-13 | |
| Q3 2013 | AMARIN CORP PLC CUSIP 023111206 | SPONS ADR NEW · Call | 35,900 | 74,600 | +38,700 | $208,000 | $471,000 | +$263,000 | 2013-11-13 | |
| Q3 2013 | JKS JINKOSOLAR HLDG CO LTD | SPONSORED ADR · Put | 1,000 | 10,300 | +9,300 | $9,000 | $232,000 | +$223,000 | 2013-11-13 | |
| Q3 2013 | MEDTRONIC INC CUSIP 585055106 | COM · Put | 31,400 | 34,300 | +2,900 | $1,616,000 | $1,826,000 | +$210,000 | 2013-11-13 | |
| Q3 2013 | LDK SOLAR CO LTD CUSIP 50183L107 | SPONSORED ADR · Call | 100 | 101,100 | +101,000 | $0 | $195,000 | +$195,000 | 2013-11-13 | |
| Q3 2013 | DEO DIAGEO P L C | SPON ADR NEW · Put | 1,200 | 2,400 | +1,200 | $138,000 | $305,000 | +$167,000 | 2013-11-13 | |
| Q3 2013 | LNWO SCIENTIFIC GAMES CORP | United States | CL A · Call | 100 | 10,000 | +9,900 | $1,000 | $162,000 | +$161,000 | 2013-11-13 |
| Q3 2013 | TELFY TELEFONICA S A | Spain | SPONSORED ADR · Call | 32,300 | 36,800 | +4,500 | $414,000 | $570,000 | +$156,000 | 2013-11-13 |
| Q3 2013 | ANGLOGOLD ASHANTI LTD CUSIP 035128206 | SPONSORED ADR · Put | 13,800 | 26,500 | +12,700 | $197,000 | $352,000 | +$155,000 | 2013-11-13 | |
| Q3 2013 | ALCATEL-LUCENT CUSIP 013904305 | SPONSORED ADR · Put | 73,800 | 80,900 | +7,100 | $134,000 | $286,000 | +$152,000 | 2013-11-13 | |
| Q3 2013 | SQM SOCIEDAD QUIMICA MINERA DE C | SPON ADR SER B · Call | 100 | 5,100 | +5,000 | $4,000 | $156,000 | +$152,000 | 2013-11-13 | |
| Q3 2013 | XINYUAN REAL ESTATE CO LTD CUSIP 98417P105 | SPONS ADR · Put | 11,900 | 29,400 | +17,500 | $51,000 | $177,000 | +$126,000 | 2013-11-13 | |
| Q3 2013 | HDB HDFC BANK LTD | ADR REPS 3 SHS · Call | 500 | 4,560 | +4,060 | $18,000 | $140,000 | +$122,000 | 2013-11-13 | |
| Q3 2013 | CHINA LIFE INS CO LTD CUSIP 16939P106 | SPON ADR REP H · Call | 1,200 | 4,100 | +2,900 | $42,000 | $159,000 | +$117,000 | 2013-11-13 | |
| Q3 2013 | STATOIL ASA CUSIP 85771P102 | SPONSORED ADR · Call | 14,800 | 18,600 | +3,800 | $306,000 | $422,000 | +$116,000 | 2013-11-13 | |
| Q3 2013 | HANWHA SOLARONE CO LTD CUSIP 41135V103 | SPONSORED ADR · Call | 9,900 | 30,700 | +20,800 | $21,000 | $137,000 | +$116,000 | 2013-11-13 | |
| Q3 2013 | ULXXXX UNILEVER PLC | SPON ADR NEW · Call | 2,200 | 5,300 | +3,100 | $89,000 | $204,000 | +$115,000 | 2013-11-13 | |
| Q3 2013 | CNOOC LTD CUSIP 126132109 | SPONSORED ADR · Call | 300 | 800 | +500 | $50,000 | $161,000 | +$111,000 | 2013-11-13 | |
| Q3 2013 | SIMO SILICON MOTION TECHNOLOGY CO | SPONSORED ADR · Call | 2,400 | 10,400 | +8,000 | $25,000 | $136,000 | +$111,000 | 2013-11-13 | |
| Q3 2013 | HMY HARMONY GOLD MNG LTD | SPONSORED ADR · Call | 16,400 | 44,400 | +28,000 | $62,000 | $150,000 | +$88,000 | 2013-11-13 | |
| Q3 2013 | JA SOLAR HOLDINGS CO LTD CUSIP 466090206 | SPON ADR REP5ORD · Put | 5,400 | 12,500 | +7,100 | $39,000 | $127,000 | +$88,000 | 2013-11-13 | |
| Q3 2013 | CHINA MOBILE LIMITED CUSIP 16941M109 | SPONSORED ADR · Call | 2,900 | 4,100 | +1,200 | $150,000 | $231,000 | +$81,000 | 2013-11-13 | |
| Q3 2013 | TATA MTRS LTD CUSIP 876568502 | SPONSORED ADR · Call | 9,100 | 10,800 | +1,700 | $213,000 | $288,000 | +$75,000 | 2013-11-13 | |
| Q3 2013 | BHP BILLITON PLC CUSIP 05545E209 | SPONSORED ADR · Put | 400 | 1,500 | +1,100 | $21,000 | $88,000 | +$67,000 | 2013-11-13 | |
| Q3 2013 | ECTM ECA MARCELLUS TR I | United States | COM UNIT · Call | 1,100 | 8,200 | +7,100 | $10,000 | $77,000 | +$67,000 | 2013-11-13 |
| Q3 2013 | BBVA BANCO BILBAO VIZCAYA ARGENTA | SPONSORED ADR · Put | 5,700 | 10,200 | +4,500 | $48,000 | $114,000 | +$66,000 | 2013-11-13 | |
| Q3 2013 | E ENI S P A | SPONSORED ADR · Call | 900 | 2,200 | +1,300 | $37,000 | $101,000 | +$64,000 | 2013-11-13 | |
| Q3 2013 | HSBC HSBC HLDGS PLC | SPON ADR NEW · Put | 200 | 1,300 | +1,100 | $10,000 | $71,000 | +$61,000 | 2013-11-13 | |
| Q3 2013 | GIANT INTERACTIVE GROUP INC CUSIP 374511103 | ADR · Put | 2,400 | 8,400 | +6,000 | $19,000 | $77,000 | +$58,000 | 2013-11-13 | |
| Q3 2013 | INFY INFOSYS LTD | SPONSORED ADR · Call | 6,800 | 7,000 | +200 | $280,000 | $337,000 | +$57,000 | 2013-11-13 | |
| Q3 2013 | CHUBB CORP CUSIP 171232101 | COM · Put | 4,100 | 4,400 | +300 | $347,000 | $393,000 | +$46,000 | 2013-11-13 | |
| Q3 2013 | BVN COMPANIA DE MINAS BUENAVENTU | SPONSORED ADR · Put | 200 | 3,800 | +3,600 | $3,000 | $44,000 | +$41,000 | 2013-11-13 | |
| Q3 2013 | TATA MTRS LTD CUSIP 876568502 | SPONSORED ADR · Put | 700 | 2,100 | +1,400 | $16,000 | $56,000 | +$40,000 | 2013-11-13 | |
| Q3 2013 | IRELAND BK CUSIP 46267Q202 | SPNSRD ADR NEW · Put | 3,200 | 5,900 | +2,700 | $27,000 | $67,000 | +$40,000 | 2013-11-13 | |
| Q3 2013 | LDK SOLAR CO LTD CUSIP 50183L107 | SPONSORED ADR · Put | 9,500 | 26,300 | +16,800 | $12,000 | $51,000 | +$39,000 | 2013-11-13 | |
| Q3 2013 | SUNTECH PWR HLDGS CO LTD CUSIP 86800C104 | ADR · Put | 30,200 | 37,200 | +7,000 | $31,000 | $63,000 | +$32,000 | 2013-11-13 | |
| Q3 2013 | NATIONAL GRID PLC CUSIP 636274300 | SPON ADR NEW · Put | 1,600 | 2,000 | +400 | $91,000 | $118,000 | +$27,000 | 2013-11-13 | |
| Q3 2013 | AMARIN CORP PLC CUSIP 023111206 | SPONS ADR NEW · Put | 20,800 | 22,700 | +1,900 | $121,000 | $143,000 | +$22,000 | 2013-11-13 | |
| Q3 2013 | BHP BILLITON PLC CUSIP 05545E209 | SPONSORED ADR · Call | 500 | 800 | +300 | $26,000 | $47,000 | +$21,000 | 2013-11-13 | |
| Q3 2013 | IBN ICICI BK LTD | ADR · Put | 10,600 | 12,600 | +2,000 | $405,000 | $384,000 | -$21,000 | 2013-11-13 | |
| Q3 2013 | GOL LINHAS AEREAS INTLG S A CUSIP 38045R107 | SP ADR REP PFD · Put | 200 | 4,000 | +3,800 | $1,000 | $20,000 | +$19,000 | 2013-11-13 | |
| Q3 2013 | BBVA BANCO BILBAO VIZCAYA ARGENTA | SPONSORED ADR · Call | 2,600 | 3,500 | +900 | $22,000 | $39,000 | +$17,000 | 2013-11-13 | |
| Q3 2013 | FORTUNA SILVER MINES INC CUSIP 349915108 | COM · Call | 2,000 | 5,600 | +3,600 | $7,000 | $20,000 | +$13,000 | 2013-11-13 | |
| Q3 2013 | REEMF RARE ELEMENT RES LTD | United States | COM · Put | 4,000 | 8,000 | +4,000 | $8,000 | $21,000 | +$13,000 | 2013-11-13 |
| Q3 2013 | YZCAY YANZHOU COAL MNG CO LTD | SPON ADR H SHS · Put | 1,500 | 2,500 | +1,000 | $11,000 | $24,000 | +$13,000 | 2013-11-13 | |
| Q3 2013 | SHANDA GAMES LTD CUSIP 81941U105 | SP ADR REPTG A · Put | 10,200 | 13,300 | +3,100 | $40,000 | $52,000 | +$12,000 | 2013-11-13 | |
| Q3 2013 | ROYAL BK SCOTLAND GROUP PLC CUSIP 780097689 | SPONS ADR 20 ORD · Put | 900 | 1,700 | +800 | $8,000 | $20,000 | +$12,000 | 2013-11-13 | |
| Q3 2013 | GGB GERDAU S A | SPON ADR REP PFD · Call | 300 | 1,800 | +1,500 | $2,000 | $13,000 | +$11,000 | 2013-11-13 | |
| Q3 2013 | PKX POSCO | SPONSORED ADR · Put | 400 | 500 | +100 | $26,000 | $37,000 | +$11,000 | 2013-11-13 | |
| Q3 2013 | NOAH NOAH HLDGS LTD | SPONSORED ADS · Call | 700 | 900 | +200 | $6,000 | $15,000 | +$9,000 | 2013-11-13 | |
| Q3 2013 | AMERICA MOVIL SAB DE CV CUSIP 02364W105 | SPON ADR L SHS · Put | 14,200 | 16,000 | +1,800 | $309,000 | $317,000 | +$8,000 | 2013-11-13 | |
| Q3 2013 | GLOBE SPECIALTY METALS INC CUSIP 37954N206 | COM · Put | 100 | 500 | +400 | $1,000 | $8,000 | +$7,000 | 2013-11-13 | |
| Q3 2013 | MUFG MITSUBISHI UFJ FINL GROUP IN | SPONSORED ADR · Call | 1,000 | 2,000 | +1,000 | $6,000 | $13,000 | +$7,000 | 2013-11-13 | |
| Q3 2013 | SUNTECH PWR HLDGS CO LTD CUSIP 86800C104 | ADR · Call | 2,200 | 4,800 | +2,600 | $2,000 | $8,000 | +$6,000 | 2013-11-13 | |
| Q3 2013 | TRANSCANADA CORP CUSIP 89353D107 | COM · Call | 1,800 | 1,900 | +100 | $78,000 | $83,000 | +$5,000 | 2013-11-13 | |
| Q3 2013 | SIFY TECHNOLOGIES LIMITED CUSIP 82655M107 | SPONSORED ADR · Call | 500 | 1,600 | +1,100 | $1,000 | $3,000 | +$2,000 | 2013-11-13 | |
| Q3 2013 | FLY LEASING LTD CUSIP 34407D109 | SPONSORED ADR · Put | 100 | 200 | +100 | $2,000 | $3,000 | +$1,000 | 2013-11-13 |
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